KGI ASIA LIMITED 凱基證券亞洲有限公司

SFC suspends Chan Wai Ling, ex-Kingsway, now KGI, for a year
SFC, 26-Jul-2017
SFC suspends Chris Lo Tsz On for one year
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
SFC bans Alice Yim Ping, ex-Target Capital Management, for 3 years
SFC, 22-Feb-2016
SFC v Lam Fai Man (fka Lin Huiwen)
HK Court of First Instance, 8-Dec-2015
Mr Lam loses his appeal of conviction for failing to file disclosures of interests with the company (although filings were made with SEHK). He was Deputy Chairman of Victory Group (1139) until 7-Jun-2013 when his re-election was vetoed at the AGM. We have no evidence that he resigned in Apr-2013 as stated in paragraph 82(4) and 82(15) of the judgment.
SFC bans former broker Mr Chan Yuk Hing, ex-KGI, for 3 years
SFC, 4-Aug-2014
SFC bans Manesh Vijaykumar Samtani, ex-KGI, for life
SFC, 4-Aug-2014
SFAT affirms SFC decision to suspend Jenny Chan Pik Ha, ex ICBC
SFC, 10-Jun-2014
Broker acquitted of illegal short selling
SFC, 4-Jun-2014
Court dismisses appeals against market manipulatiion convictions
SFC, 13-Jan-2014
SFC bans Michelle Ng Man Chow, ex-KGI Asia, forever
ICAC, 18-Jun-2013
HKSAR v Andy Pau Chin Hung
HK Court of Appeal, 4-Jun-2013
Ex-KGI staffer jailed for 3 years for accepting HK$1.1m bribes
ICAC, 10-May-2013
See also the SFC's press release of 7-May-2013 with our notes.
SFC bans Andy Pau Chin Hung for 10 years
SFC, 7-May-2013
The obvious question: which former Chairman of which listed company was Mr Pau helping to dump shares? A 5% commission for secrecy and about $22m of shares were involved. Update: on 10-May the ICAC announced Pau's increased sentence for bribery. The listed company was Warderly (0607). It does not name the former Chairman, Yeung Kui Wong, but a middle-man, Derrick Luu Hung Viet. Disclosures show that Yeung sold 30m shares @$0.415 to Luu on 21-Mar-2007 and 20m shares off-market on 16-Apr-2007 @$0.455.
Court sentences two market manipulators to serve community service orders
SFC, 13-Jul-2012
Magistrate convicts broker and client of market manipulation
SFC, 29-Jun-2012
Ex-KGI staff guilty of accepting HK$1.1m bribes
ICAC, 10-May-2012
Broker Wong Chiu Wan, ex-KGI, banned forever for misappropriation
SFC, 8-May-2012
Magistrate allows broker Mr Chan Yuk Hing to change plea
SFC, 6-Feb-2012
Mr Chan Yuk Hing, ex-KGI Asia Ltd, convicted of market manipulation in Multifield (0898)
SFC, 26-Jan-2012
Ex-staff of KGI Hong Kong Ltd charged with accepting HK$1.1m bribes
ICAC, 28-Oct-2011
KGI representatives suspended for conducting personal trading in secret
SFC, 8-Feb-2011
SFC suspends KGI's Portia Liu Kit Ching for 9 months
SFC, 28-Dec-2010
Sun Hung Kai Investment Services and KGI Asia complete Minibond repurchases
SFC, 2-Jul-2009
KGI Asia Ltd agrees with SFC to repurchase Minibonds from its clients at original value
SFC, 5-Apr-2009
SFC tackles secret accounts and bans Mr Yeung Hon Fat, ex-KGI Asia, for life
SFC, 30-Jul-2007
SFC suspends Raymond Wong Ping Chung for 4 months for account opening failings, unauthorised dealing and facilitating unregistered dealing
SFC, 22-Apr-2004
SFC suspends Mr Frank Ko Ka Keung for 2 months for deceiving employer in account opening
SFC, 28-Jan-2004
SFC suspends Mr Anthony Yung for 1 month for failings in supervising branch operations at KGI
SFC, 28-Jan-2004
SFC reprimands KGI Asia Ltd for lax internal controls
SFC, 8-Jan-2004
SFC suspends Mr Richard Fan Yee Wai for 1 year for misleading SFC, deceiving employer and other breaches
SFC, 17-Oct-2003
SFC holds in abeyance suspension of Mr Raymond Wong Ping Chung
SFC, 3-Oct-2003
SFC suspends Ms Sendy Siu So Fun for 3 weeks for facilitating unregistered dealing
SFC, 4-Sep-2003
SFC suspends Mr Kevin Tsang Chun Fuk
SFC, 11-Apr-2001

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